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What are the requirements for registering Hong Kong No. 9 license with the Securities and Futures Commission?

Financial card care question

What are the aspects of registering Hong Kong No. 9 license with the Securities and Futures Commission?

Require

,Successful Hong Kong No. 9 license plate application can bring flexible benefits,Because overseas investors have high expectations for business performance

Require

not so strict,Private equity funds can withdraw profits as long as they are higher than the stock index。More importantly, companies can accumulate rich investment experience,Develop into a more mature operational team and working model,Can improve the competitiveness of enterprises,Enter internationalization in advance,To apply for a license, please consult Manager Peng Yi。

Practical application of the existing 10 types of licenses Practical application of regulated activities License No. 1:Securities trading:Providing stock and stock option buying and selling brokerage services to clients Buying and selling bonds for clients Buying and selling mutual funds and unit trust funds for clients Placing and underwriting securities Securities and Futures Commission registration What are the aspects of the Hong Kong No. 9 license?

Require

2Number:Futures contract trading:Provide customers with index or commodity futures buying and selling brokerage services. Buy and sell futures contracts for customers No. 3:Leveraged Forex Trading:Conduct foreign exchange transactions for clients on margin No. 4:Advise on securities:Provide clients with investment advice on selling and buying securities Issue research and analysis on securities No. 5:Advising on futures contracts:Provide clients with investment advice on selling and buying futures contracts. Issue research report and analysis on futures contracts No. 6:Advise on institutional financing:Acting as a sponsor for an initial public offering for a listing applicant in connection with the "Corporate Acquisition"、Providing advice on the Mergers and Share Buy-backs Code,Advising listed companies on compliance matters under the Listing Rules No. 7:Provide automated trading services:Electronic trading platform No. 8 that operates matching customer orders:Providing securities margin financing:Provide financing to customers who buy stocks and use the customer's stocks as collateral No. 9:Provide asset management:Manage securities or futures contract investment portfolios for clients on a discretionary basis. Manage Fund No. 10 on a discretionary basis.:Providing credit rating services:Just the company、Prepare reports on the creditworthiness of bonds and sovereigns on the applicant’s capital

Require

What are the aspects of registering Hong Kong No. 9 license with different SFCs?

Require

,The successful application of Hong Kong’s No. 9 license plate has provided more diversified channels for private equity investment.。

Why are so many domestic investment institutions preparing overseas plans?,Mainly:First, domestic asset allocation is limited,Second, the domestic consumer market promotes,RMB instability。Third, domestic surveillance and management have become increasingly strict.,Fourth, foreign investment markets are more standardized、more mature,So what is there to do with the Hong Kong No. 9 plate?

Require

,Hong Kong Xintong International Deng Sheng broke it down based on 11 years of management experience:Businesses must have an actual office address in Hong Kong,Operated by a management team with practical experience。

Have a qualifying business structure、and monitoring system,Paid-up capital of HKD 5 million。The content of this article is strictly prohibited from being reproduced by any website or individual.,Violators will be punished。Related products:Hong Kong financial license application , Hong Kong financial license registration , Apply for a Hong Kong financial license


About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

Editing of articles in this issue:

Picture of 周浩铭

周浩铭

周浩铭在香港资产管理与证券监管合规领域有 8 年经验曾担任持牌资产管理公司业务与合规要职他熟悉香港证券及期货事务监察委员会(SFC) 关于 9 号牌照资产管理牌照申请条件风险控制框架要求内部合规制度投资组合管理控制及 Officer 资质要求等合规细则周浩铭擅长制定符合《证券及期货条例》的内部合规手册及持续运营合规流程

擅长领域SFC 9 Application for number license、风险控制框架Officer 资质要求《证券及期货条例》内部合规手册

曾任职机构香港持牌资产管理公司 & SFC 合规团队

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